Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

NYSE Proposes to Revise Notifications Prior to Dividend Announcements

Public Companies and Securities The NYSE has filed a proposed rule with the SEC which will require listed companies to provide notice to the Exchange at least 10 minutes before making any public announcement with respect to a dividend or stock distribution in all cases, including outside of the hours in which the Exchange’s immediate release policy is in […] Read more →

by   |   July 2, 2017

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SEC Confirms Sales of NFL Fan Memberships Fall Outside of Securities Act

Uncategorized In a no-action letter issued earlier this week, the Staff of the Division of Corporation Finance granted relief to LA Fan Club, “a fan club for loyal fans of the Rams football... Read more →

by   |   June 30, 2017

SEC Permits All Companies to File Confidential Registration Statements

Public Companies and Securities The SEC announced that beginning on July 10, 2017 it will accept voluntary draft registration statement submissions from all issuers for nonpublic review. The SEC believes this... Read more →

by   |   June 29, 2017

Director Equity Grants and Vote Buying Subject to Entire Fairness Review

Executive Compensation, Litigation, Public Companies and Securities In Williams v. Ji et al, the Delaware Court of Chancery examined an alleged scheme in which the Directors of Sorrento Therapeutics, Inc. granted themselves options and warrants... Read more →

by   |   June 28, 2017